‘Enforcement 40’ for 2020
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By Securities Docket on December 21, 2016, 5:41 pm
Finra handed down $14.4 million in fines to a dozen firms on Wednesday for breaches related to the retention of broker-dealers’ and customers’ electronic records, which the brokerage industry watchdog claims made the firms vulnerable to cybersecurity threats. via Finra slaps 12 firms with $14.4 million fine for cybersecurity issues — Investment News